HR Research Excellence Award - 4 Year Review Report

HR Research Excellence Award - 4 Year Review Report

May 2016 – revised 30th November 2016

Process for internal evaluation

Approval, internal evaluation and monitoring of the Action Plans for the Award is undertaken by a University Concordat Working Group (CWG) – chaired by Professor Ian Oakes - DeputyVice-Chancellor (Research and External Engagement). This Working Group reports to the University Research Committee whose membership comprises Academic and Professional Services research staff from Research Institutes and Centres across the University.

Operational responsibility for development and implementation of the action plans resides with CWG – whose membership includes active researchers such as the Dean of Research, the Director of the Doctoral College, the Academic Lead for Athena SWAN; as well as the Deputy Director of HR (Strategic Development).

At key review stages (year 2 and year 4 reviews) plans are discussed, amended and approved through CWG. In particular, evaluation of the progress to the 4 year reviewwas led by the Dean of Research and the newly appointed Director of the Doctoral College, in conjunction with Deans of Faculty, Associates Deans responsible for research, individual researchers including Principal Investigators and other research support staffwithin the Research Institutes and Centres.

These reviews were held in the context of the University undergoing a significant restructure,from eight Schools to four large autonomous Faculties,in 2013, followed by a restructure of the Registry (Faculty Administration) and the Human Resources Directorate, in 2014/5. Thisrestructuring has resulted in the establishment of two key elements within the new Faculty structures: each Faculty has a new Associate Dean (Research & Enterprise) post and its own Faculty Research Committee with dedicated administrative support.

In addition, the University strategic planning process was brought forward by a year to early 2016, thus refocussing the University ambitions with regard to research including:

Deliver outstanding pedagogic practice informed by world-leading research
Deliver learning, research and engagement opportunities which target the economic and social needs of the areas in which we operate
Be a leader in the creation and dissemination of knowledge
Be recognised as a university which makes impact regionally, nationally and internationally

This is underpinned by a new ‘Workforce Strategy’ (replacing the previous People Enabling Strategy) with a central objective of Workforce Planning.

These far reaching changes toboth structure and direction haverefocussed some of the priorities that were in the initial and 2-yearaction plan.

Key achievements and progress over the four-year period of the Research Concordat Action Plan

Principle 1: Recognition of the importance of recruiting, selecting and retaining researchers

The HR Business Partner (Ulrich) model at Faculty level has been effective in providing support to both Principal Lecturers (Investigators) and Researchers, resulting in a set of locally agreed role profiles which have been evaluated through HERA (Job Evaluation process) to support recruitment.
A project to reduce the number of Fixed Term Contracts (FTCs) resulted in a new policy and process and a 12 % overall reduction in use of FTCsover the 4 year period.
The Organisational Change and Redeployment policy was reviewed to include specific support for staff at risk, such as access to available roles before they were advertised more widely.
Recruitment & Selection training was made a requirement for Chairs of all Interview Panels.

Principle 2: Researchers are recognised and valued by the University as an essential part of our human resource

The University launched a £6million investment into research over the four year period. This enabled the establishment of a new centralised research management facility: “The Research Hub”where key roles and institutes were co-located including the Dean of Research, the Research Policy Unit (RPU), the Doctoral College, the Project Support Office (PSO), the Centre for Academic Practice (CAP), and the Centre for Technology Enhanced Learning (CTEL). This raised the profile of the University’sresearch and researchers, providing better focus for the co-ordination, development and support for our researcher community.
To support the launch of the new Research Hub, a range of web-pages were developed including the establishment ofon-line researcher biographies/profiles for individuals and their research teams, blogs, bulletin boards and ‘virtual’ community facilities.
The University recruited a significant number of additional research active staff to key posts including Heads of School, Associate Deans of Research and the Director of the Doctoral College. To support this, the University internal Professorial conferment process was reviewed to run on an annual basis and to include a new Reader conferment processes. This resulted in a 63% increase in conferments since 2012.
The Professorial appraisal process has also been reviewed to include quantitative and qualitative targets demonstrating leadership in research and mentoring of more junior research staff. Mandatory training is also provided for all appraisers and annual appraisals and regular performance review meetings are compulsory for all staff.
The University participated in the PIRLS (Principal Investigators and Research Leaders Survey) in 2013 and again in 2015 with an increased response rate. The results showed that although managers were becoming more confident in supporting the career development of the research staff they manage (and the importance they placed on this activity) – more still needs to be done to ensure they themselves received support. Therefore over 150 further sessions of the Managers Toolkit (including ‘Managing for Performance’) open to all line managers and supervisors, were organisedin 2015 and 2016 to address this.

Principle 3: Researchers are equipped and supported to be adaptable and flexible in the global research environment

Principle 4: Recognition of the importance of researchers’ personal and career development at all stages of their career

The University’s Careers Service now gives careers advice to research staff.
An annualEarly Research Award Scheme (ERAS) is managed by the Doctoral College – giving £5k support to individual awardees.
An annual research conference is held, with staff encouraged to present current work to their peers.
Online presence and a WIRE archive of published outputs has been developed.
From January 2015 onwards, an Almanac of all events across the University (training, talks, workshops etc.) has been disseminated, providing ample opportunities for development and networking.
The University reviewed and enhanced the Research Mentoring Scheme – focussing on New, Developing and Readership and Professoriate mentoring. 10 Research Staff have formal mentors; with a further 10 applications for mentor pairing in the process (May 2016).
A blended approach to identifying training needs for research staff was carried out over the four year period. This included participation in the 2013 and 2015 CROS surveys; an Athena Swan survey of development opportunities within the University and a comprehensive review of the sub-Professoriate Staff Development plans on a Faculty basis was carried out by the Director of the Doctoral College in early 2016. This approach is supported by the annual appraisal process.
The process for rewarding senior staff was reviewed to include rewarding excellent/exceptional achievement (particularly around leadership, innovation and income generation).

Principle 5: Individual researchers share the responsibility for and need to proactively engage in their own personal and career development

As a result of the organisational change within HR, the previous staff development unit was refocussed to that of ‘Organisational Development’ and a complete review and refresh of the website occurred – with specific pages on ‘Academic Researcher Development’ including career pathways and suggested developmental opportunities at each stage.
Faculty-level support extends to resourcing of research via research centres/groupings (most typically financial support for conference attendance); research days and sessions to showcase ongoing work and outputs and alignment to research projects (inter- or cross-faculty) and peer mentoring and support via such alignments.

Principle 6: Diversity and equality must be promoted in all aspects of the recruitment and career management of researchers

The Athena SWAN Bronze Award was awarded to the University in 2013 and is due for renewal in 2016. Within the Faculty of Science and Engineering and the Faculty of Education, Health and Wellbeing, a number of STEM related Schools will be applying for Silver Awards in 2018.
Analysis of statistical data related torecruitment, retention and progression of research staffis considered through the University Equality & Diversity Committee, with more detailed analysis of data undertaken for the Athena SWAN submissions. A plan of action to address the ‘leaky pipeline’ of female staff involved in STEM subjects beyond Reader levelhas been put in place.
The University has set aside funds to support returners (both male and female) who have experienced breaks in their research career through care giving obligations.

Principle 7: The sector and all stakeholders will undertake regular and collective review of their progress in strengthening the attractiveness and sustainability of research careers in the UK

Monitoring and evaluation reports are regularly given to University Research Committee
Members of the CWG attend Vitae and other sector relevant conferences and workshops to understand sector-wide issues and to share best practice

Summary of actions

The Action Plans for 2012 and 2014 have been updated over time, and completed actions noted.

Significant and positive progress has been made on those areas where opportunities for improvement had been identified. The majority of the actions detailed in the action plans have been completed in full, and any outstanding actions have been refocussed and rolled forward into the new plan.

Strategy for the next four years

The University of Wolverhampton has had an action plan for implementation of the Concordat since 2012. Since then, the University has undergone a significant period of change and restructure. Despite this, many of our initiatives demonstrate that senior managers have a greater understanding of their responsibilities with respect to the management of researchers, and the research staff themselves are more engaged with their own career development. Nonetheless, we feel there are areas where we can build on and improve.

As outlined in our new Action Plan, these include:

-The ongoing review of effective and enabling policies

-The continued use of CROS and PIRLS surveys to provide us with benchmark data to evidence progress

-A review of staff induction and managers toolkit training

-Increasing research staff participation in development events

-Improving awareness of external development activities

-Reviewing the effectiveness of the University Strategic Plan

Actions detailed in our plans will be incorporated into mainstream Workforce Strategy KPIs and will align with the (2016) University Strategic Plan,which articulates very clear research ambitions, to be achieved within a high performance culture.

In summary, success will see research staff who are ever more engaged and active in their own career development, supported by managers and mentors who fully understand the needs of research staff and working in an environment in which they canthrive and progress.

Approval

May 2016

Professor Ian Oakes - DeputyVice-Chancellor (Research and External Engagement).

Revised FINAL 4 Year Review Report - 30.11.2016Page 1 of 10

The University of Wolverhampton Action Plan for next four years – May 2016

Aims/Objectives / Actions / Responsibility / Target
Timeframe
Recruitment & Selection;
Recognition and Value (Principles 1 & 2) /

Review the implementation of the University Fixed Term Contracts Policy in relation to research staff

Continue to analyse on an annual basis (co-terminus with the Academic Year), the numbers of research staff on each contract type (using a baseline of data as at 31st July 2016) – with a further 10% reduction in the number of Fixed Term Contracts (FTC’s) being used by the date of policy review.
Review relevant funding streams, life-cycles & timescales
Reconsider the ‘business model’ by which the University determines its researcher staffing needs and employs/deploys its staff, ensuring that the approach is appropriate to Concordat standards

/ HR Department
Concordat Working Group (CWG) / Spring 2019 (review date of actual Policy)

Having established an online presence for the University-wide research community, review and monitor it’s effectiveness.

Enhancement of the research-focussed website and virtual University-wide researcher community including (in line with the University ‘Digital Campus’ project), resulting in a 20% increase in ‘web hits’ from a baseline established as at the 31st July 2016
Roll out and subsequently monitor the new process (June 2016) by which staff can update their own ‘home pages’. 90% of all research staff to utilise this facility within the next 2 years; achievement of this target to be monitored through the annual appraisal process and captured on the relevant document.
Identification and delivery of targeted ‘digital capabilities’ training for research staff to assist them to participate, communicate, share ideas & good practices and be part of supportive, professional internal and external virtual networks. 90% of all research staff to have received the training identified in their JIISC ‘Building Digital Capability – Diagnostic’ by their next appraisal – as captured on their appraisal document.

/ Doctoral College
Research Policy Unit
External Relations
Organisational Development
Research Managers
Researchers / Review May 2017 prior to next appraisal round

Increase effectiveness of, and participation in, staff appraisal for both research staff and managers (P.I.s).

Establish a process for collating the baseline data as at the 31st July 2016, review and enhance the process and usage levels of the University’s staff appraisal scheme () as a key strategic priority. This will enhance the linkage between staff and organisational priorities.
This includes the introduction of a new on line appraisal completion recording system to allow monitoring of appraisal take up. A minimum of 90% of all eligible research staff to have had an appraisal recorded on the ‘Agresso’ system in the appraisal year.

/ HR (including Organisational Development)
Research Managers
Researchers / Work underway.
Review 1:
May 2017
Review 2:
May 2018
Aims/Objectives / Responsibility / Target
Timeframe
Support/Career development\researcher Responsibilities - Principles 3 , 4 & 5 /

Increase uptake of CROS and PIRLS surveys

Achieve a minimum of an 80% return rate from the CROS and PIRLS surveys in 2017 (and beyond if applicable)
Analyse the survey outcomes and design ; designing a plan of action for dissemination to Faculty Research Leaders
Monitor effectiveness of the plan of action, revising actions as necessary

/ Dean of Research
Research Managers
Researchers
CWG
University Research Committee / September 2017
October 2017
January 2018 and ongoing

Encourage researchers to engage pro-actively with career planning and raise their awareness of careers services available to them.

Further enhance careers webpages for researchers.
Establish a process for collating the baseline data as at the the 31st July 2016 and increase by 50% the participation in 'Personal and Career Development' programme run jointly by Careers & Counselling Units. Undertake further monitoring of event attendance & provide data to research management
Having run an inaugural “Residential Researchers Week” in 2016; increase by 60% the participation of PGR’s in subsequent years”

/ Careers, Enterprise and Workplace Services,
Organisational Development
Research Managers / Review May 2017 prior to next appraisal round

Enhance the ‘blended learning’ and development opportunities for Researchers, Research Managers and P.I’s

Continue to review the national and locally commissioned (including regional) learning and development opportunities, identifying how best to engage our research community in these.
Add to the existing offerings, and monitor usage, providing relevant data to research management on a quarterly basis

/ Research Strategy Group,
University’s Research Committee,
Dean of Research
Doctoral College
Organisational Development / Review May 2017 prior to next appraisal round

Review and monitor the Professorial and Reader conferment process

Monitor applications and unsuccessful appointments; ensuring that a career development plan (in line with the University appraisal process) is put in place - with 100% of eligible research staff having an agreed career development plan as part of their appraisal documentation.
Monitor effectiveness of the plan of action (Athena SWAN) to address the ‘leaky pipeline’ from Reader to Professor for female academic staff in STEM subjects – to target as set out in the Athena SWAN action plan.

/ HR
Dean of Research
Research Managers
Researchers
CWG
University Research Committee / Annually following the conferment process
Aims/Objectives / Actions / Responsibility / Target
Timeframe
Diversity and Equality - Principle 6 /

Renewal of Athena Swan Charter status

Achieve renewal of a Bronze Institutional Athena Swan Award in 2016
Apply for School Silver Awards in two faculties in 2018
Three year re-assessment and work towards awards in other areas including Arts, Humanities, Social sciences, Business and Law (AHSSBL)

/ Athena Swan Workgroup / November 2016

Review and monitor the effectiveness of the Research ‘Return to Work’ policy programme

Monitor take up of the research return to work policy/principle that enables, through line managers, an opportunity for research academics returning to work after a substantial period of leave to have phased ‘protected time’ for research and a research plan in order to re-engage with research.
Evaluate the perceived promotion and effectiveness of the programme
Monitor staff turnover of those who have accessed the research return to work opportunity using the University ‘leavers questionnaire’ to analyse staff views

/ CWG
HR / On-going
to 2020 review
Aims/Objectives / Actions / Responsibility / Target
Timeframe
Review – Principle 7 /

Publish the Concordat Action Plan and encourage feedback from all parties within the University.

Publish Action plan on the University’s website
Publish announcement article in WLV Insider staff magazine and other internal staff communications fora
Announce review results 2016

/ DVC
CWB
External Relations / May 2016

University to review and evaluate implementation of Action Plan as an on-going process: Where relevant, mainstreaming this workload into other standard University development & review processes in order to establish it as a self-driving priority.

Publish Action plan and establish a timetable of quarterly review meetings.
Establish a clear link between this work and work on the University Strategic Plan (2016-2021); the Athena Swan submissions, the University Workforce Strategy and the University Research Strategy as well as local Faculty and Doctoral College strategies and initiatives

/ DVC,
Dean of Research, Concordat Working Group / On-going
to 2020 review

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